PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. CASH #92-01102 AWARD In the Matter of the Arbitration Between William Mazur Claimant vs. Shearson Lehman Brothers, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 30, 1992, Claimant William Mazur who appeared Pro Se, alleged that in 1989 he opened an account with Mr. Goria, Financial Consultant with Respondent

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gerhard Kohlmann 92-01101 Name of Respondent Dean Witter Reynolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on March 30. 1992. Claimant Gerhard Kohlmann who appeared Pro Se, alleged that Respondent Dean Witter Reynolds. Inc. sent a check from the sale of his Cornerst

PUBUC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard Albert Saul Claimant vs. Wedbush Morgan Securities, Inc. Douglas V. Myhra Respondents CASK §92-01100 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 30, 1992, Claimant Richard Albert Saul, who appeared Pro Se, alleged that Respondents Wedbush Morgan Securities, Inc. and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF In the Matter of the Arbitration Between Name o Janet Perry Matz NASD Arbitration No.92-01089 Name of Respondentf s> Srniin Barney, Harris (Jpham & Co., Inc. Jay Helle For Claimant: Timothy C. Karen, Esq., San Diego, California For Respondent: Judith C. Greene, Esq. , Smith Barney, Harris Upham & Co. , Inc. , New York, New York CASE INFORMATION • » Statement of Claim filed: March 26, 199

N.A.S.D. AWARD NATKMAL ASSOdKTICN OP SHJUklTJLES In the Matter of the Arbitration Between Nans of dadnsnt 92-01082 of Respondents Dean Witter Reynolds, Inc. and Joseph F. Bcylan Claimant was represented by Richard B. King, Esq. Nashville, Respondent,Dean Witter Reynolds. Inc. was represented by Carol B. Schachner, Esq. of Dean Witter Reynolds, Inc., New York, New York. Respondent, Janes Bcylan was represented by Anas Davis, Esq.of Waller

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harold Resteiner, as trustee 92-01080 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 26, 1992, Claimant Harold Resteiner, as Trustee, who appeared Pro Se, alleged that Respondent Merrill Lynch Pierce Fenner &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Ferrin 92-01070 Name of Respondent Janney Montgomery Scott. Inc. For Claimant Robert Ferrin ("Claimant"): Anthony J. Horn. Attorney at Law. For Respondent Janney Montgomery Scon. Inc. ("Respondent"): Elizabeth Hoop Fay of the law firm Morgan. Lewis & Bockius. CASE INFORMATION Statement of Claim filed: March 24. 1992.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Norleen Snyder, (Claimant) v. Everen Securities, Inc. and George M. Walker (Respondents) Case Number: 99-03147 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Norleen Snyder ("Snyder"): James A. McGurk, Esq. Attorney at Law: Chicago, Illinois. Respondents Everen Securities n/k/a First Unions Securities, Inc. ("Everen"), and George M. Walker ("Wal

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Henry and Beatriz Esther K. Katina Case No. .92-01079 Name of Resoondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. Rebecca Gault For Claimants, Henry and Beatriz Esther K. Katina ("Katina"): Arthur P. Fisch, Esq. of Fisch & Kaufman. For Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("ML") and Rebecca Gault

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael Zimmerman vs. Arbitration National Association of Securities Ovators. Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 Case # 92-01077 F.S.G. Financial Serviced Group, Inc. Kenneth Glim For Claimant, Michael g-imn^rnu.™ ("Claimant"), Robert M. Jaffee, Esq. from the